Vice President of Securities Regulatory Reporting
Nextera Search
Responsibilities Oversee compliance with broker-dealer regulatory capital requirements, ensuring adequate liquidity and adherence to applicable financial responsibility rules. Perform and review daily regulatory capital calculations and reporting, with ongoing monitoring to support continuous compliance. Monitor capital levels against internal thresholds and regulatory notification requirements, escalating potential concerns as needed. Maintain a thorough understanding of regulatory capital methodologies, including applicable deductions, adjustments, ratios, and internal risk limits. Partner with senior management and key stakeholders to address capital-related issues and ensure timely resolution of regulatory matters. Review customer protection and reserve calculations to support compliance with applicable regulatory requirements. Monitor controls surrounding the segregation of customer and firm assets and related reserve account obligations. Investigate and resolve regulatory reporting exceptions, reconciliation breaks, and other compliance-related discrepancies. Prepare and review regulatory filings and supplemental reporting schedules, ensuring accuracy, completeness, and timely submission. Qualifications Bachelor’s degree in Accounting, Finance, Business, or a related field preferred. 7–12 years of experience within regulatory reporting, financial reporting, accounting, or a related function, preferably within a broker-dealer, financial services organization, public accounting firm, or similar regulated environment. Prior experience within regulatory reporting, accounting, finance, or a related function in the financial services industry. Familiarity with regulatory capital, financial reporting, or broker-dealer operations is a plus. Experience with data analytics and reporting tools such as Dataiku, Alteryx, or similar platforms is preferred. Advanced proficiency in Microsoft Excel, including data analysis, reporting, and reconciliation functions. #J-18808-Ljbffr Nextera Search
Vacancy posted 3 days ago
Similar jobs that could be interesting for youBased on the Vice President of Securities Regulatory Reporting in New York, NY vacancy
$115k - $180k
## Securities Regulatory Reporting Vice PresidentApplylocations: New York, NY (1271 AOA/6th Ave)time type: Full timeposted on: Posted 2 Days Agojob requisition id: R7109Description:* SEC 15c3-1 Ensures broker‐dealers maintain sufficient liquid capital to meet obligations...RegulatoryExtra incomeWork at officeLocal areaRemote workWorldwide$115k - $180k
The Mizuho Financial Group Inc. in New York is seeking a Securities Regulatory Reporting Vice President. In this role, you will ensure compliance with SEC regulations including maintaining liquid capital and preparing regulatory reports. You will contribute to daily reviews...Regulatory- ...global leader in banking and securities services, where your... ...most prominent clients. As a Vice President on our On-Balance Sheet Product... ...across 70+ currencies. Reporting to the Global Head of On-Balance... ...aligned with client needs, regulatory requirements, and firmwide...Regulatory
J.P. Morgan
New York, NY8 days ago $104k - $228k
...future team member for the role of Senior Vice President, Securities Finance Product Development to join... ..., balancing commercial impact, regulatory readiness, and operational scalability... ...improvements (e.g., workflow automation, reporting assistants). Transformative...RegulatoryTemporary workWorldwideFlexible hoursBNY
New York, NY9 days ago- ...Investigator The mission of the Global Security (GS) team is the protection of the firm'... ...while complying with various reporting requirements, policies, and procedures.... ...remediating activity and complying with regulatory requirements. Collects and evaluates...RegulatoryLocal area
Chase
Jersey City, NJ5 days ago $150k - $185k
...details for this role.**Job Description:**Our TD Securities Compliance department is looking to hire a VP to join the Regulatory Exam Management team in our New York City... ...topics, including operations, finance, regulatory reporting, and sales and trading, and prepare business...RegulatoryWork experience placementWork at office$180k - $195k
...Role Overview This dual role is based in CIB US and reports to the Head of Corporate Security in the US. It combines leadership of Identity and... ...reduction, system reliability, operational excellence, and regulatory readiness, including: Incident rate reduction...RegulatoryFor contractorsWork at officeLocal areaBBVA
New York, NY3 days ago- ...will drive industry innovation and regulatory strategy. Be part of a... ...influence the evolving landscape of Securities Services. As Vice President in Industry and Regulatory and Industry... ...webinars. Create key metrics and reporting packages to track progress, risks,...RegulatoryWork at office
$124k - $175k
...and diligent professional for a full‑time position in the Regulatory Reporting Analysis Department. The individual will partner with Regulatory... ...knowledge on financial products such as derivatives, repo, securities, loans and leases Team‑oriented, ability to be proactive...RegulatoryFull timeWork at officeLocal areaWork from home- International External Reporting (Vice President) London, United Kingdom Job Description Company Jefferies... ..., a global investment bank and securities firm, has served companies and their... ...full compliance with local GAAP and regulatory requirements. The role, working in tandem...RegulatoryFull timeLocal area
- ...client satisfaction. As a Vice President in FX Services Sales, you will... ...Vice President within the Securities Services business, you will... ...metrics and management reporting. Act as primary point-of-contact... ..., legal, risk, Credit and regulatory affairs. Strong...Regulatory
- ...drive strategy and execution for Data Reporting, Analytics and Insights across JPM Access... ...(including client, stakeholder, and regulatory inputs) to uncover customer solutions and... ...global leader across banking, markets, securities services and payments. Corporations, governments...Regulatory
J.P. Morgan
Jersey City, NJ9 days ago $130k - $250k
AMD Private-New York-Vice President-Security Engineering location_on New York, New York, United States... ...to drive security strategy and reporting on cyber-related risks and challenges... ...common cyber security risks, threats and regulatory landscape approaches and challenges...RegulatoryFull timeTemporary workPart timeWork at office- ...America. As a Global Rates External Reporter, Vice President in the Commercial & Investment Bank... ...and annual reports filed with various regulatory agencies Consolidate, review, and... ...global leader across banking, markets, securities services and payments. Corporations,...RegulatoryWork experience placementVisa sponsorship
- ...accelerating execution, and delivering measurable value across Securities Services. Job summary As a VP-level Product Delivery... ...change with strong control orientation aligned to policy and regulatory standards ~ Inclusive leadership with a track record of developing...Regulatory
J.P. Morgan
New York, NY9 days ago - A global financial services firm in New York is seeking an AVP - Securities Regulatory Reporting professional. This role focuses on preparing regulatory reports and ensuring compliance with securities regulations. Candidates should have a strong accounting or finance background...Regulatory
$115k - $180k
Mizuho in New York is seeking a candidate knowledgeable in SEC compliance to ensure broker-dealers maintain sufficient liquid capital. Responsibilities include daily net capital reviews and monitoring customer reserve computations. The role offers a hybrid working model...Regulatory$190k - $200k
...Corporate. Overview Founded in 1973, Inter-Con Security Systems, Inc. is a leading global... ...Security Matters. Job Summary The Vice President, TSA serves as Inter-Con Security's senior... ...guidance on airport screening operations, regulatory compliance, staffing models,...RegulatoryContract workFor contractorsInter-Con Security
New York, NY4 days ago$150k - $180k
...you more specific details for this role. Job Description TD Securities’ Regulatory Compliance Management (RCM) Framework has implemented new... ...infrastructure is to support holistic and highly strategic reporting and visualizations of each RCM Program and the linkages between...RegulatoryWork at officeLocal areaFlexible hours- ...accelerating execution, and delivering measurable value across Securities Services. Job summary As a VP-level Product Delivery Director... ...change with strong control orientation aligned to policy and regulatory standards Inclusive leadership with a track record of developing...Regulatory
- ...Associate Vice President, Regulatory Reporting About the Company A global financial institution focused on U.S. bank regulatory reporting and compliance. Industry Banking Type Privately Held About the Role The Company is in search of an Associate...Regulatory
- ...Vice President, GAAP Accounting and Reporting About the Company Prominent insurance company Industry Insurance Type Privately Held... ...understanding of the sector's specific financial and regulatory requirements. The ideal candidate will have a proven...Regulatory
$108k - $225k
" Vice President - Cash Flow Forecasting & Liquidity - Transaction Banking Product, TD Securities " + " New York, New York " + " 2026 " + " $108K - $225K USD " + " Key Responsibilities... ..., forecasting capabilities, and regulatory requirements, ensuring products meet governance...RegulatoryLocal areaFlexible hours$160k - $250k
...providing a wide range of investment banking, securities, investment management and wealth... ...taking into account legal, franchise, regulatory, tax and other considerations... ...at the commencement of employment for Vice President. However, base pay if hired will be determined...RegulatoryTemporary workWorldwide$83k - $209k
Senior Cloud Security Engineer At BNY, our culture allows us to run our company better and... ...execution, control adoption, and reporting inputs. In this role, you’ll make an impact... ...management objectives. Contribute to audit, regulatory, and control review activities by...RegulatoryTemporary workWorldwideFlexible hours$140 per hour
...program into MUFG's Enterprise Information Security Risk Next Generation across Combined U.S... ...generation of associated metrics and reporting. Major Responsibilities Monitor... ...requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures...RegulatoryWork at officeLocal areaRemote work1 day per weekMUFG
Jersey City, NJ2 days ago$225k
## VP - Securities Lending SupplyPostulerremote type: Sur placelocations: New York, New Yorktime... ...and complies with TD Policies, regulatory and compliance requirements* Ensures that... ...executing the ongoing trading exception report reviews for Money Markets Sales NY* Understands...RegulatoryTemporary workSecond jobWork at officeLocal areaWork from homeFlexible hours- ...market data, economic information, key industry developments, and regulatory standards at all times to make sound decisions* Liaise closely... ...* Responsible for executing the ongoing trading exception report reviews for Money Markets Sales NY* Understands the approved Business...RegulatoryWork at officeWork from homeFlexible hours
$125.76k - $188.64k
Information Security Lead Data Analyst - Vice President Job Req Id: 26973118 Location: Irving, Texas, United States... ...asset security health posture and report using visualization tools for... ...to senior management and external regulatory agencies Develop user acceptance...RegulatoryFull time- Job Overview This role sits within the U.S. Regulatory Capital and CCAR Reporting team of the Firmwide Regulatory Reporting & Analysis (FRRA) group, supporting Basel III Standardized and Advanced Approaches reporting for JP Morgan Chase and its subsidiaries, including CCAR...RegulatoryWork at office
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Vice President of Securities Regulatory Reporting. Be the first to apply!
Related searches
- vp biotech New York, NY
- vp compliance New York, NY
- vice president support services New York, NY
- vice president global communications New York, NY
- vice president legal New York, NY
- vice president of ecommerce New York, NY
- vice president shared services New York, NY
- vice president of revenue cycle New York, NY
- vice president real estate development New York, NY
- vice president corporate strategy New York, NY